Regulatory Expert for Wealth Management

1 week ago

London, Greater London, United Kingdom MERJE Full time
Compliance Specialist Role at MERJE

MERJE is a leading recruitment agency partnering with a renowned discretionary wealth management firm to find a highly skilled Compliance expert.

This is an excellent opportunity to join their established Compliance & Risk team as a Compliance specialist, overseeing the practical application of regulatory frameworks and providing advisory services to support business growth.

  • Develop and implement effective regulatory strategies to ensure compliance with existing and emerging regulatory requirements.
  • Collaborate with the First Line to provide actionable guidance on regulatory frameworks and developments, ensuring the best outcomes for clients.
  • Manage risk assessments and provide advice on implementing robust policies, controls, and risk frameworks that promote positive consumer outcomes.
  • Stay up-to-date with regulatory changes and updates, monitoring their impact on the business and identifying opportunities for improvement.

Key Responsibilities:

  • Provide regulatory advice to various governing bodies and committees.
  • Oversee procedures for the Compliance Team consistent with internal standards, business goals, and attitude to risk.
  • Advising on implementing robust policies, controls, and risk frameworks that enable positive consumer outcomes and mitigate potential harm across all business activities.

Requirements and Qualifications:

  • Relevant compliance and/or Risk experience gained within a wealth or investment management environment.
  • Strong understanding of regulatory requirements, industry best practices, and emerging risks – relevant to the wealth management sector.
  • Good knowledge of policies, controls, and monitoring required to enable positive consumer outcomes.
  • Ability to interpret complex regulations and provide clear, actionable guidance.
  • Effective communication skills to advise stakeholders across all levels.
  • Proactive, self-supportive, and motivated in fostering a positive compliance culture.
  • Excellent report writing and presentation skills.

The estimated salary for this role is £60,000 - £80,000 per annum, depending on experience. If you are a motivated and experienced Compliance professional looking to join a dynamic team, please apply.

  • Regulatory Compliance Expert

    1 week ago

    London, Greater London, United Kingdom Ocorian group Full time

    Role OverviewWe are seeking a highly motivated Regulatory Compliance Expert to join our Wealth and Consumer Finance Practice. The successful candidate will provide regulatory advisory services, guidance, and delivery of ongoing support engagements to our wealth and investment management clients.

  • Regulatory Expert for Wealth and Asset Management

    1 week ago

    London, Greater London, United Kingdom Danos Group Full time

    Company OverviewDanos Group is a leading international wealth and asset management business with a focus on innovative solutions that drive efficiency across the wealth management cycle.The company has expanded significantly through acquisitions and organic growth, with operations across multiple regions including the UK, Jersey, and South Africa.Job...

  • Regulatory Compliance Expert

    1 week ago

    London, Greater London, United Kingdom Chip Full time

    We're seeking a Regulatory Compliance Expert to join our team at Chip, a fast-growing fintech startup revolutionizing wealth management.Salary: £60,000 - £75,000 per annumAbout the RoleThis is an exciting opportunity for a seasoned Regulatory Compliance Expert to oversee all UK regulatory reporting, ensuring timely and accurate submission of reports to the...

  • Wealth Management Trainee

    1 week ago

    London, Greater London, United Kingdom Enver Wealth Management Ltd. Full time

    Wealth Management TraineeEnver Wealth Management Ltd. is seeking a talented and driven Wealth Management Trainee to join our dynamic team in Kingsway, London.This is an exceptional opportunity for someone looking to break into the wealth management industry, with a clear vision for career growth and a desire to help clients achieve their financial goals.As a...

  • Wealth Management Business Strategist

    1 week ago

    London, Greater London, United Kingdom Skybound Wealth Management Full time

    Wealth Management Business OpportunityAt Skybound Wealth Management, we are seeking a highly skilled Business Development Executive to join our team. This role offers a unique chance to build a new career in wealth management and provide exceptional service to high net worth expat clients.The main focus of this position is to strategically target and...

  • Regulatory Affairs Strategist

    1 week ago

    London, Greater London, United Kingdom VRS Regulatory Full time

    Role OverviewA challenging opportunity has arisen for a Regulatory Affairs Strategist to join VRS Regulatory's team. About the RoleWe are seeking an experienced Regulatory Affairs Strategist to develop and implement regulatory strategies for plant protection products in specific geographical territories. Develop and execute regulatory strategies for product...

  • Wealth Management Expert

    1 week ago

    London, Greater London, United Kingdom Page Personnel Sales Full time

    About the JobWe are seeking a skilled Wealth Management Expert to join our team at Page Personnel Sales. In this role, you will work with high net worth individuals, providing expert financial support and advice to help them achieve their financial goals.Key ResponsibilitiesDevelop and implement financial strategies to meet the needs of high net worth...

  • Expert in Wealth Management and Stockbroking

    4 weeks ago

    London, Greater London, United Kingdom SS&C Technologies Holdings Full time

    Wealth and investment management professional sought for a role specializing in stockbroking propositions and services.Key Responsibilities:Deliver expert advice on wealth management and stockbroking strategies.Develop and maintain strong relationships with high net worth clients.Stay up-to-date with market trends and regulatory...

  • Regulatory Compliance Expert

    2 weeks ago

    London, Greater London, United Kingdom Vixio Regulatory Intelligence Full time

    Role OverviewVixio Regulatory Intelligence is seeking a highly skilled Regulatory Compliance Expert to lead the development of a premium technical compliance solution.The ideal candidate will have experience in compliance roles at regulated gambling operators or technology providers and possess strong communication skills.

  • Wealth Accumulation Expert

    1 week ago

    London, Greater London, United Kingdom Capco Full time

    Senior Executive PositionCapco is seeking senior executives with good asset management industry knowledge to join our Wealth & Asset Management practice. As a Wealth Accumulation Expert, you will support the definition and execution of strategic priorities for top asset managers. Our work ranges from client service proposition design to business model...

  • Regulatory Expert for Retail Wealth and Investments

    2 weeks ago

    London, Greater London, United Kingdom Addleshaw Goddard Full time

    Opportunity at Addleshaw GoddardWe are looking for a highly skilled Regulatory Expert to join our dynamic and growing Retail Wealth and Investments regulatory team.About the RoleYou will be responsible for advising on regulatory aspects of commercial contracts, customer terms, asset transfers, counterparty diligence, and new client propositions.You will...

  • Senior Portfolio Manager

    1 week ago

    London, Greater London, United Kingdom LOM Financial Group - Wealth Management Full time

    Job Description:Key Responsibilities:Develop long-term relationships with clients and provide expert financial advice and planning.Assess clients' needs, respond to queries, and support them in investing their capital in suitable LOM products and services.Build new relationships and increase client investment in LOM products to maximise commercial...

  • ESG Regulatory Expert

    1 month ago

    London, Greater London, United Kingdom LGT Group Full time

    ESG Regulatory Expert - 18 Month FTC London (GB)LGT Wealth Management UK LLP is a UK-based partnership, wholly owned by the private banking group LGT, which is in turn owned by the Princely Family of Liechtenstein. Our aim is to offer a fresh approach to wealth management, putting our clients first by providing a transparent service designed around what is...

  • Wealth Management Expert

    1 week ago

    London, Greater London, United Kingdom BDO Canada LLP Full time

    BDO Canada LLP is a leading accounting and advisory firm that provides innovative services to help businesses succeed. We are seeking a highly skilled and motivated individual to join our Wealth Management practice as a Wealth Management Expert.Key Responsibilities:Process client data and complete data entry in financial planning softwareIdentify financial...

  • {"title":"Regulatory Compliance Specialist

    4 weeks ago

    London, Greater London, United Kingdom Hurst Point Group Full time

    {"description":"Regulatory Compliance Specialist - Wealth ManagementWe are seeking a seasoned Regulatory Compliance Specialist to oversee and enhance our Enterprise Risk Management framework in our Wealth Management division.Key responsibilities include managing risk assessments, advising on effective systems for optimal client outcomes, and ensuring robust...

  • Strategic Wealth Management Expert

    1 week ago

    London, Greater London, United Kingdom MERJE Ltd Full time

    We are seeking an experienced Financial Services Professional to join our team as a Strategic Wealth Management Expert. In this role, you will work closely with clients to provide expert guidance on risk management principles, particularly within investment advisory and wealth management.About the RoleYou will play a leading role in client engagements,...

  • Investment Portfolio Manager

    4 weeks ago

    London, Greater London, United Kingdom LOM Financial Group - Wealth Management Full time

    Job Summary: We are seeking a highly skilled Investment Advisor to join our team at LOM Financial Group - Wealth Management. As an Investment Advisor, you will be responsible for providing expert financial advice and planning to our high net worth clients.About the Role: This is a unique opportunity to work with a leading investment firm in the financial...

  • Wealth Management Professional

    3 weeks ago

    London, Greater London, United Kingdom Apollo Private Wealth Full time

    Apollo Private Wealth is a leading wealth management firm based in London. We are seeking a skilled and ambitious Wealth Adviser to join our team.Your MissionOur mission is to provide exceptional client outcomes and deliver a highly personal service. We believe in the spirit of ownership and empowering our people to excel at the speed of their talent.Your...

  • Expert Wealth Manager

    4 weeks ago

    London, Greater London, United Kingdom Norman Alex Full time

    About the RoleWe are seeking a highly skilled Expert Wealth Manager to join our team at Norman Alex. As a leading wealth management company, we pride ourselves on delivering exceptional service to our clients.The ideal candidate will have a strong background in UK pensions and investments, with a minimum of 5 years of experience selling investment products....

  • Compliance Expert for Wealth Management Firm

    5 days ago

    London, Greater London, United Kingdom Fram Executive Search Limited Full time

    Regulatory Excellence in Wealth ManagementFram Executive Search Limited is partnering with an independent Wealth Management firm based in Southwest Devon to find a Compliance Support Officer. The successful candidate will work closely with the Wealth Management Director, who holds SMF16/17 responsibilities, to maintain regulatory excellence.The Compliance...